FINRA Uniform Securities Agent State Law Examination : Series_63 valid dump

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses

A) I, II and III
B) I and II only
C) I and III only
D) I only

2. You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a
small company that is planning to come out with a product that you think is going to "wow" the market.
You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have
that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him
interested in investing in the firm, too. The two of you decide to pull your money together, each putting in
$ 5,000, and you agree to split any profits or losses. Is this permitted?

A) Yes. This is permitted since the agreement is between you and a family member.
B) Yes, as long as your brother provides your firm with his written consent.
C) No. Under no circumstances can an agent enter a joint investment with a client under the guidelines of
the Uniform Securities Act.
D) Maybe. But it will require written consent from both your brother and your firm.

3. Which of the following persons is required to maintain its records in accordance with state dictates and
meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser
III. investment adviser representative

A) I and II only
B) II and III only
C) II only
D) I, II, and III

4. Under which of the following scenarios can a client legitimately sue a purported professional in the
securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who
had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the
surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale,
had been granted registration, and the selling agent had told his client that the security had been
state-approved for sale.

A) I and III only
B) I only
C) II and III only
D) I, II, and III

5. Under the 2002 Uniform Securities Act, registration by coordination allows:

A) both state-registered and out-of-state investment bankers to participate in the underwriting and
registration of a new security issue.
B) securities that do not fall within the category of federal covered securities to be registered
simultaneously with the SEC and with the states in which the securities will be offered for sale.
C) federal covered securities to be registered simultaneously with the SEC and with the states in which
the securities will be offered for sale.
D) issuers of federal covered securities to submit only a notice filing with the Administrator of states in
which the securities will be offered for sale.

Solutions: